Wealth Management Client Associate
About The Position
The Wealth Management Client Associate provides sales, processing, operational, administrative, and customer service support to Investment Relationship Managers of U.S. Bancorp Investment Sales. The role supports relationship managers by arranging and tracking appointments; preparing investment proposals, reviews, and routine correspondence; organizing records and paper flow in compliance with firm record-keeping requirements; maintaining client files and supplies; answering phones; and opening and distributing mail. At the direction of Investment Relationship Managers, the associate also supports business development. This may include meeting with existing or prospective clients, contacting existing clients to review their relationships, planning and coordinating marketing campaigns and business development seminars, and meeting with internal departments about joint business initiatives.
Requirements
- High school diploma or equivalent.
- SIE at a minimum is preferred; eligibility for business incentives requires FINRA SIE, Series 6 or 7, and 63 registrations, as well as life, variable life, health, and disability insurance licenses.
- Experience with brokerage industry policies, processes, and procedures; FINRA and SEC regulatory standards; and other applicable regulatory requirements.
- Ability to contact and profile existing clients, leads, and prospects.
- Proven understanding of operations, policies, procedures, regulations, and compliance requirements.
- Strong analytical skills and attention to detail.
- Ability to handle multiple assignments simultaneously and meet deadlines while maintaining accuracy.
- Effective communication and organizational skills for day-to-day relationship management with internal and external clients and partners.
- Proficiency with Microsoft Office applications and ability to adapt quickly to proprietary software.
Nice To Haves
- Bachelor's degree preferred.
- Two to four years of investment industry experience preferred.
- Prior sales and service experience relating to Brokerage and Investment Advisory business preferred.
- SIE preferred.
Responsibilities
- Provide sales, processing, operational, administrative, and customer service support to Investment Relationship Managers.
- Make and track appointments.
- Prepare investment proposals, reviews, and routine correspondence.
- Organize paper flow in accordance with firm record-keeping requirements and maintain client files and supplies.
- Answer phones and open and disseminate mail.
- Support business development by meeting with existing or prospective clients and contacting existing clients to review their relationships.
- Plan and coordinate marketing campaigns and business development seminars.
- Meet with internal departments to discuss joint business initiatives.
Benefits
- Medical, dental, and vision coverage.
- Basic term and optional term life insurance.
- Short-term and long-term disability coverage.
- Pregnancy disability and parental leave.
- 401(k) and employer-funded retirement plan.
- Paid vacation of two to five weeks depending on salary grade and tenure.
- Up to 11 paid holiday opportunities.
- Adoption assistance.
- Sick and Safe Leave accruals of one hour for every 30 hours worked, up to 80 hours per calendar year unless otherwise provided by law.
- Incentive and recognition programs, equity stock purchase, 401(k) contribution, and pension, subject to eligibility requirements.
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What This Job Offers
Job Type
Full-time
Education Level
High school or GED
